0001225208-16-041807.txt : 20161115 0001225208-16-041807.hdr.sgml : 20161115 20161115183036 ACCESSION NUMBER: 0001225208-16-041807 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161111 FILED AS OF DATE: 20161115 DATE AS OF CHANGE: 20161115 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP CENTRAL INDEX KEY: 0000927628 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 541719854 STATE OF INCORPORATION: DE FISCAL YEAR END: 1216 BUSINESS ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7037201000 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 FORMER COMPANY: FORMER CONFORMED NAME: OAKSTONE FINANCIAL CORP DATE OF NAME CHANGE: 19940728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FINNERAN JOHN G JR CENTRAL INDEX KEY: 0001238033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 162000949 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 4 1 doc4.xml X0306 4 2016-11-11 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001238033 FINNERAN JOHN G JR 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Gen. Counsel & Corp. Secretary Common Stock 2016-11-10 5 G 0 1400.0000 0.0000 D 140816.0000 D Common Stock 2016-11-11 4 M 0 88510.0000 76.7900 A 229326.0000 D Common Stock 2016-11-11 4 S 0 88510.0000 80.8500 D 140816.0000 D Common Stock 31683.0000 I Finneran/Cotter Children's Trust Stock Options 76.7900 2016-11-11 4 M 0 88510.0000 0.0000 D 2017-03-01 Common Stock 88510.0000 0.0000 D This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter. Cleo Belmonte (POA on file) 2016-11-15